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Description
Job Description
OUR IMPACT
Global Compliance manages the firm’s compliance, regulatory and reputational risks by ensuring adherence to laws, rules and regulations. We monitor trends and changes in regulations in all jurisdictions in which the firm does business, and we develop and implement firmwide policies and procedures. In addition to advising the firm’s businesses, Global Compliance is responsible for managing audits and inquiries, educating our people on our policies and procedures, surveillance and testing the firm’s risk management infrastructure.
DIVERSITY & INCLUSION
Our people are our greatest asset. We believe that a major strength and principal reason for our success is the quality, dedication, determination and collaboration of our people, which enables us to serve our clients, generate long-term value for our shareholders and contribute to the broader community.
Job Summary & Responsibilities.
YOUR IMPACT
We are recruiting for an Analyst/Senior Analyst level position to join the EMEA Prime Services Compliance team, within Equities Compliance, providing first-line compliance support and advice to Futures Sales Trading, Futures Sales, Futures Strats and associated support teams within the Futures and Clearing businesses, which sit within Prime Services. The candidate should be able to work in a multi-dimensional business environment that is heavily client focused and organise their time to deal with real-time issues, as well as delivering on a diverse project workload.
RESPONSIBILTIES
Assist in the provision of real-time compliance advice to business personnel of all levels, with regards to the rules, regulation and internal policies that govern their businesses
Compliance representative or support for business-led projects/initiatives
Developing and updating policies & procedures to applicable businesses
Develop and deliver training as part of ongoing Compliance training program tailored to suit the individual requirements of our various businesses, in addition to delivering ad-hoc training as and when required
Partner with other central Compliance teams and other support functions in resolving queries
Co-ordinate with the broader Global Compliance Team on EMEA and Global initiatives and projects as a representative for Equities Compliance
Assist with the annual Compliance Risk Assessment
Partner with Surveillance and Financial Crime Compliance in resolving surveillance alerts identified systematically or via desk escalation
Assessing the impact of new financial regulations, setting internal Compliance policies and providing appropriate guidance
Coordinate and review responses to Exchanges/regulators
Review and assist with Compliance sign off for electronic trading activities relating to our various businesses
Review and assist with providing review and Compliance sign-off for marketing materials
Other Requirements
Degree level or equivalent (not essential if relevant working experience)
Experience within Compliance, including Equities or Futures Compliance, or within Compliance at a Futures Exchange an advantage
Good understanding of capital markets, with Listed Derivatives and Global Futures Exchange rule knowledge an advantage, but not required
Experience of performing a Compliance advisory role in a global investment bank and understanding of applicable regulations and rules (MiFID, MAR, COBS, Exchange rules) an advantage, but not required
Pro-active, self-motivated, enthusiastic, well organised and keen to learn
Ability to work independently, be a strong team player and manage relationships/stakeholders at all levels
Demonstrates the ability to resolve conflict, deal with confrontation, and remain calm under pressure
About Goldman Sachs
At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.
We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers.
We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html